Delphia (USA) and Global Predictions agreed to pay $400,000 in penalties for the false claims, the agency said.
A Kentucky firm said LPL, its former affiliate, tried to poach its advisors after a falling out.
This Swiss bank is vying for primacy in global wealth management.
A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.
The Zurich-based bank has signaled that the U.S. will be a major plank of its growth strategy.
Raymond James has been on a hiring spree for its public finance division for years.
The headlines, reports and data all seem to indicate that the model is tagged for extinction. But is that really the case?
Even AI engineers have a problem conveying how the technology works, the regulator said.
A trade group coalition wants to restore a rule implemented in 2021.
Reuben L. Brown of Texas refused to appear over allegations he invested client money outside the firm.
Advisors need to guard against emotional decisions by clients, they said.
The agreement gives Ashton Thomas Securities advisors more capabilities, BNY Mellon's Pershing said.
The Lexington, S.C.-based firm brings $240 million in client assets to Osaic.
Christopher Kirk previously spent two decades at Wellington Management.
Schwab, Fidelity and financial industry trade groups said the move is long overdue.
The AI program gives advisors clues to client financial events, TIFIN said.
Endeavor Wealth Strategies of Fort Wayne, Ind., has aligned with LPL affiliate Exemplar Financial Network.
Julie Su's work to limit independent contractors has drawn criticism from advisor groups.
The broker has also dropped a $5 million account minimum that was tied to the program.
State regulators filed three times the enforcement actions against RIAs as brokers, NASAA reported.